Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I

follows: (1) disclosing the balance sheet, income statement and the auditor’s report at the office of the derivatives business operator; (2) announcing the balance sheet, earnings statement and the

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities

service of brokerage, dealing or underwriting of investment units such as a fund fact sheet. “Management company” means any mutual fund management company or private fund management company; “Mutual fund

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

Exchange Commission No. Sor Thor. 29/2540 Re. Forms for Balance Sheet and Income Statement of Securities Companies Which Obtain a Securities Business License to Undertake the Securities Business in the

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form